Audit and Projects

Our Full Bench-marking Compliance Audit Will Identify Areas Where You’re Are Doing Well, Not So Well & Areas That Need Improvement.

How Well Do You Manage Your Firm?

Our Full Bench-marking Compliance Audit Will Identify Areas Where You’re Are Doing Well, Not So Well & Areas That Need Improvement.

So often when companies grow, they need new policies, procedures, processes and often times they don’t have the time to take a step back, look at the overall business and ensure that the new governance gets embedded.

Over time, the new procedures and processes may not actually flow very well, and the staff, and directors, take short-cuts to make things easier; better for clients and less bulky for the staff. Unfortunately, these heuristics are what cause conduct risk crystallisation and on analysis, show that things are not working so well and in many cases, not according to policy or the set procedures and processes as expected.

Exposed by regulatory visits, specific or themed, these aspects then open up a whole can of worms, where no-one can rely on the written word and this can then throw the whole business and it’s management (systems and controls) into question.

What We Review

Governance

Compliance Procedures

AML & CTF, Sanctions & Financial Crime

Compliance Monitoring Plan

Files/Past Business Reviews

THE ANSWER?

Get an independent check by specialist Compliance Consultants. We will complete our assessment and provide a written report for you. This can be conducted as a Bench-marking Audit or as part of your Annual Compliance Monitoring Plan.

COMPLIANCE BENCH-MARKING AUDIT BROCHURE

Download our Compliance Bench-marking Audit Examples brochure here to see what we can do for you – or complete the form today, and we will get back to you.

DOWNLOAD BROCHURE

     Good  
     Based on 49 reviews 
    
 
 
   
 
 
        
   Gerry Neu 
 2023-06-15
 
 
 Trustindex verifies that the original source of the review is Google. Lee, in particular, but the whole team has excellent FCA experience and provide the context for solid advice.  What stands out, especially, is the practical approach and the understanding of compliance within a commercial environment.  Much appreciated assistance in an FCA application, but also policies and procedures and MLRO activity.
  
 
       
   SRUTI SOURAV SARANGI 
 2023-02-21
 
 
 Trustindex verifies that the original source of the review is Google. Compliance Consultant had imparted two days intense training on key compliance subjects . With highly experienced trainer, excellent content and captivating sessions they delivered the best to our team. We are thankful to Compliance Consultant for their services.
  
 
       
   Simon Dhillon 
 2022-08-23
 
 
 Trustindex verifies that the original source of the review is Google. I worked with Compliance Consultant for 2 years and was involved in a variety of projects for various firms, both start-ups and established. Lee was a pleasure to work with and was very knowledgeable about all aspects of compliance, this provided reassurance that client work was carried out to a high standard. The team at Compliance Consultant worked very closely and was always on hand to provide assistance or advice on specialist areas for eg FCA Authorisations or Audits.
  
 
       
   SMTAKS 
 2022-08-15
 
 
 Trustindex verifies that the original source of the review is Google. In a high pressure situation, Compliance Consultant stepped in to help us further understand the requirements and completely changed the authorization documentation urgently needed.
  
 
       
   Angela Young 
 2022-01-27
 
 
 Trustindex verifies that the original source of the review is Google. First class service in every way. Whilst applying for FCA authorisation the original compliance company we were working with let us down.  Feeling despondent, Lee from Compliance Consultant stepped in and assured us we would have our application submitted on time.  Suzanna was our direct contact and she worked tirelessly to ensure we met our deadline.  Not only did we meet our deadline, but our completed application was submitted to the FCA, 1 week ahead of schedule.
Both Lee and Suzanna took the time to communicate clearly the detail within each section of the application.
They went above and beyond and felt more like friends by the end of the process.  I would highly recommend Compliance Consultant both in terms of professionalism and value for money.  We look forward to working with Compliance Consultant in the future.
  
 
       
   Grant Townshend 
 2022-01-10
 
 
 Trustindex verifies that the original source of the review is Google. We approached Lee between Christmas & New Year about some compliance work we urgently needed completing for a newco setup. He communicated very clearly what we would need and why. Once instructed, he delivered this on time and cost effectively. Recommended.
  
 
       
   Mohamed Yassin 
 2021-10-28
 
 
 Trustindex verifies that the original source of the review is Google. Outstanding job on every level. We are very pleased with their work. Done on time, done on budget and they know what they are doing.
They handled everything with extreme professionalism and delivered our project in a timely manner. We couldn't be happier with the end outcomes, Lee and his team were extremely thorough, understanding and responsive throughout each stage of our contract. We look forward to working with them in the future on our project. Thank you, Lee and Compliance Consultant team.